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For Your Information (December)

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Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting

NASD Regulation, Inc. would like to remind member firms of their obligation to file the appropriate FOCUS reports, Annual Audits, Customer Complaint information, and Short Interest Reporting by their due dates. The following schedule outlines due dates for 2001. Questions regarding the information to be filed can be directed to the appropriate District Office. Business questions as to how to file the FOCUS report, resetting passwords & technical questions concerning system requirements, file uploads, submission problems for Web-Based FOCUS and Customer Complaints can all be directed to (800) 321-NASD. Business questions regarding the 2001 Short Interest Reporting deadlines should be directed to Yvonne Huber at (240) 386-5034 or Jocelyn Rena at (240) 386-5091.

2001 FOCUS Due Dates

Annual Schedule I for 2000 Year End Due Date
2000 FOCUS Schedule I January 25, 2001
Annual Schedule I for 2001 Year End Due Date
2001 FOCUS Schedule I January 25, 2002
Quarterly FOCUS Part II/IIA for 2000
Period Ending Due Date
December 31, 2000 January 25, 2001

Monthly And Fifth FOCUS II/IIA Filings For 2001

A Fifth FOCUS report is an additional report that is due from a member whose fiscal year end is a date other than the calendar quarter.

Period Ending Due Date
January 31, 2001 February 26, 2001
February 28, 2001 March 23, 2001
April 30, 2001 May 23, 2001
May 31, 2001 June 25, 2001
July 31, 2001 August 23, 2001
August 31, 2001 September 26, 2001
October 31, 2001 November 26, 2001
November 30, 2001 December 26, 2001

Quarterly FOCUS Part II/IIA Filings For 2001

Quarter Ending Due Date
March 31, 2001 April 25, 2001
June 30, 2001 July 25, 2001
September 30, 2001 October 23, 2001
December 31, 2001 January 25, 2002

2001 Annual Audit Filings Due Dates 2001 Customer Complaint Due Dates
Period End Due Date  
January 31, 2001 April 1, 2001 January 16, 2001 (January 15th is Martin Luther King Day)
February 28, 2001 April 29, 2001 April 16, 2001
March 31, 2001 May 30, 2001 July 16, 2001
April 30, 2001 June 29, 2001 October 15, 2001
May 31, 2001 July 30, 2001  
June 30, 2001 August 29, 2001
July 31, 2001 September 29, 2001
August 31, 2001 October 30, 2001
September 30, 2001 November 29, 2001
October 31, 2001 December 30, 2001
November 30, 2001 January 29, 2002
December 31, 2001 March 1, 2002

Market Regulation Department—2001 Short Interest Reporting Deadlines

Trade Date Settlement Date Exchange-Listed Short Interest Due* Nasdaq Short Interest Due*
Tues. January 9 Fri. January 12 Wed. January 17 1:00 p.m. Wed. January 17 6:00 p.m.
Mon. February 12 Thurs. February 15 Tues. February 20 1:00 p.m. Tues. February 20 6:00 p.m.
Mon. March 12 Thurs. March 15 Mon. March 19 1:00 p.m. Mon. March 19 6:00 p.m.
Mon. April 9 Thurs. April 12 Tues. April 17 1:00 p.m. Tues. April 17 6:00 p.m.
Thurs. May 10 Tues. May 15 Thurs. May 17 1:00 p.m. Thurs. May 17 6:00 p.m.
Tues. June 12 Fri. June 15 Tues. June 19 1:00 p.m. Tues. June 19 6:00 p.m.
Tues. July 10 Fri. July 13 Tues. July 17 1:00 p.m. Tues. July 17 6:00 p.m.
Fri. August 10 Wed. August 15 Fri. August 17 1:00 p.m. Fri. August 17 6:00 p.m.
Tues. September11 Fri. September 14 Tues. September 18 1:00 p.m. Tues. September 18 6:00 p.m.
Wed. October 10 Mon. October 15 Wed. October 17 1:00 p.m. Wed. October 17 6:00 p.m.
Mon. November 12 Thurs. November 15 Mon. November 19 1:00 p.m. Mon. November 19 6:00 p.m.
Tues. December 11 Fri. December 14 Tues. December 18 1:00 p.m. Tues. December 18 6:00 p.m.

*Eastern Standard Time

Correction To Notice to Members 00-73

On page 571, the second sentence under the subhead Updated Financial Information should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." The online version of this Notice has been corrected.


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